Nex Systems
Person

TONY JAMES PARKER

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TONY JAMES PARKER (CRD No. 5262801), Respondent. Disciplinary Proceeding No.2007007959601 DEFAULT DECISION Hearing Officer - SW DATE: May 15, 2008 Respondent was barred for violating NASD Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to requests for information issued by the FINRA staff. No separate

    Reference 2007007959601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5262801

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